Compliance

• Own the monitoring and tracking of annual recertification timelines across the portfolio, ensuring no recertifications fall behind schedule.
• Generate and send annual recertification notices to residents in a timely and accurate manner, in coordination with site teams and compliance staff.
• Monitor recertification completion rates and proactively flag outstanding items to Compliance Leadership and site teams.
• Maintain organized recertification tracking logs and ensure all documentation is up to date in property management and compliance systems.
• Identify patterns or systemic issues contributing to recertification delays and escalate with recommended solutions.
• Assist Compliance Specialists with processing and tracking move-in applications and recertification files as workload requires.
• Help collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Provide guidance to site teams on program requirements and documentation needs.
• Assist in preparing move-in and recertification files for investor, state agency, or internal audits.
• Serve as a resource for Compliance Specialists on complex questions, compliance processes, and program requirements.
• Assist Senior Compliance Specialists with file review tasks during periods of high volume or tight deadlines.
• Support preparation of compliance reporting for investors, state agencies, and internal leadership as assigned.
• Contribute to audit preparation activities by ensuring files are organized and audit-ready.
• Help track compliance activity and reporting deadlines, escalating concerns as needed.
• Serve as coverage for the Compliance Specialist role during planned or unplanned absences, including processing and tracking move-in applications and recertifications.
• Serve as coverage for the Senior Compliance Specialist role during absences, including file review, escalation triage, and team support functions.
• Maintain service continuity and compliance standards across both functions during coverage periods.
• Actively pursue skill development in file review, quality control, and compliance mentorship to prepare for advancement into a Senior Compliance Specialist role.
• Participate in training, coaching, and knowledge-sharing opportunities with Senior Compliance Specialists and Compliance Leadership.
• Demonstrate growing proficiency in LIHTC and other affordable housing program requirements.
• Take on additional compliance-related projects and assignments as opportunities arise to broaden expertise.

Compliance Specialist II

• Develop and implement the global trade strategy
• Act as Plexus subject matter expert on international trade regulations
• Provide escalation support to resolve issues
• Support global trade technology implementation
• Draft and update trade-related standard operating procedures

Export Trade Compliance Manager

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• Act as a strategic partner to North America Sales and provide regulatory insights for key customers
• Lead regulatory submission projects (e.g., GRAS, NDI, NHPD)
• Serve as the subject matter expert for U.S. and Canadian regulations
• Provide regulatory guidance to Sales, Business Support, and QA, particularly for strategic accounts
• Monitor regulatory changes and communicate risks and business impacts
• Engage with regulatory authorities, industry groups, and trade associations
• Drive continuous improvement of regulatory processes and ways of working
• Support new product development (NPD) activities relevant to the Americas

Principal Regulatory Affairs Specialist

• Lead the coordination and implementation of regulatory and bureau changes
• Ensure compliance while supporting complex rate, rule, and form updates
• Maintain filing accuracy across designated lines of business
• Serve as a key liaison between regulatory organizations and internal teams
• Complete rate/rule & form filings with state insurance departments
• Monitor, coordinate, implement and communicate Rate Service Organization revisions
• Input, reformat, maintain, produce and revise current forms as needed

Product Compliance Specialist

• Monitor all project activities to ensure compliance with ARC funding requirements, federal guidelines, and contractual obligations
• Maintain organized, audit-ready documentation including deliverables, financial records, and supporting materials
• Support preparation and submission of required progress reports, compliance documentation, and final project reports
• Prepare project records for audit reviews and support responses to compliance inquiries from funders or auditors
• Ensure project processes align with federal, state, and institutional compliance requirements; recommend improvements where needed
• Work with project team members to ensure compliance requirements are understood, implemented, and documented across all workstreams
• Identify compliance risks and support development of mitigation strategies to reduce exposure and ensure project integrity

Grant Compliance Specialist

• Support U.S. and Canada regulatory activities that enable compliant business growth, customer support, and innovation.
• Partner closely with Sales, R&D, Quality, Operations, Supply Chain, and external stakeholders.
• Support U.S. and Canada regulatory subject matter activities for relevant food ingredients and segments, including monitoring, interpreting, and communicating regulatory changes and potential business impact.
• Provide timely, accurate regulatory guidance to internal stakeholders and customers on product status, specifications, labeling/claims, and manufacturing or process considerations.
• Coordinate and contribute to regulatory dossiers, notifications, and submissions in collaboration with Global Regulatory Affairs and local resources.
• Support innovation and change management, including new products, line extensions, and process changes.
• Act as a digital transformation contributor within North America, reporting to the business and supporting procurement-related processes.

Senior Specialist – Regulatory Affairs, Product Safety

• Ensure regulatory and stat reporting compliance for Enterprise
• Identify Industry trends and opportunities for development of controls, procedures, cross functional alignment and regulatory reporting
• Monitor and interpret regulatory legislation from DOI's, Boards, Bureaus, etc
• Understand current market trends ensuring compliance, data integrity and best practices
• Work closely with regulators, states, boards, bureaus, vendors and stat agents related to new and existing regulations
• Develop and provide business requirements for the implementation and maintenance of compliance reporting project
• Document procedures related to regulatory and statistical reporting
• Maintain and troubleshoot existing SQL/BigQuery queries supporting regulatory/statistical filings
• Perform data quality checks (completeness, duplicates, outliers, trend/variance) and escalate potential data defects

Regulatory Reporting & Compliance Specialist

• Oversee the Compliance program for certain business unit(s) within Medical
• Develop Compliance program strategy to enable business results and manage risk
• Partner with Senior Leadership and Compliance Committees
• Establish tone at the top with leadership teams promoting ethics and compliance
• Implement Compliance strategy and goals within business units

Director, Sage Compliance Officer

• Conduct routine weekly stormwater inspections and storm event triggered inspections at active construction sites in accordance with applicable permit requirements and site-specific SWMPs
• Identify BMP deficiencies and non-compliance conditions; communicate findings clearly and professionally with on-site construction personnel and clients
• Discuss corrective actions directly with contractors and site superintendents in the field; follow up to verify implementation
• Complete, maintain, and submit inspection reports, SWMP amendments, and other compliance documentation accurately and on schedule
• Verify site compliance with SWMP, erosion control plans, maps, and applicable permit conditions
• Advise project management on BMP implementation status and outstanding compliance issues
• Facilitate and lead SWMP-related training and toolbox talks for construction site staff as needed
• Provide clients with regulatory guidance and compliance support across a broad range of environmental programs
• Assist clients in identifying all permits and approvals required for construction, including associated timelines and application requirements
• Assist clients in evaluating site suitability and identifying environmental constraints or permit triggers during project planning and pre-construction phases
• Support preparation and review of compliance documents including SWMPs, NOIs, NOT filings, spill prevention and response plans, and environmental resource reports
• Identify optimal project locations based on environmental sensitivity, regulatory overlap, and construction feasibility
• Monitor ongoing project compliance post-construction, including permit closeout, SWPPP termination, and long-term stormwater management requirements
• Interpret and apply federal, state, and local environmental regulations across multiple disciplines
• Assist clients in responding to agency correspondence, RFIs, and regulatory inquiries

Environmental Compliance Specialist III

• Lead and manage the global trade compliance program across all regions and business units
• Establish and enforce standardized policies, procedures, and internal controls
• Provide leadership, coaching, and development for trade compliance team members
• Serve as the primary escalation point for complex compliance and regulatory matters
• Ensure compliance with all applicable regulations including EAR, ITAR, OFAC, BIS, CBP, and anti-boycott laws
• Lead global compliance audits, risk assessments, and corrective action plans
• Develop and enforce Technology Control Plans (TCPs) and access controls for regulated technologies
• Oversee classification and licensing strategies across all products and technologies
• Support Engineering and Product teams in integrating compliance into product design and NPI processes
• Collaborate with Engineering, Supply Chain, Procurement, Sales, Legal and IT to ensure compliance integration

Global Trade Compliance Manager

• Conduct routine weekly stormwater inspections and storm event triggered inspections at active construction sites in accordance with applicable permit requirements and site-specific SWMPs
• Identify BMP deficiencies and non-compliance conditions; communicate findings clearly and professionally with on-site construction personnel and clients
• Discuss corrective actions directly with contractors and site superintendents in the field; follow up to verify implementation
• Complete, maintain, and submit inspection reports, SWMP amendments, and other compliance documentation accurately and on schedule
• Verify site compliance with SWMP, erosion control plans, maps, and applicable permit conditions
• Advise project management on BMP implementation status and outstanding compliance issues
• Facilitate and lead SWMP-related training and toolbox talks for construction site staff as needed
• Provide clients with regulatory guidance and compliance support across a broad range of environmental programs, including stormwater (CGP/WPDES), SPCC, Biological Resources, Cultural Resources, and RCRA/hazardous materials
• Assist clients in identifying all permits and approvals required for construction, including associated timelines and application requirements; familiarity with local permitting requirements such as building, grading, electrical, and hauling permits is expected
• Assist clients in evaluating site suitability and identifying environmental constraints or permit triggers during project planning and pre-construction phases
• Support preparation and review of compliance documents including SWMPs, NOIs, NOT filings, spill prevention and response plans, and environmental resource reports
• Identify optimal project locations based on environmental sensitivity, regulatory overlap, and construction feasibility
• Monitor ongoing project compliance post-construction, including permit closeout, SWPPP termination, and long-term stormwater management requirements
• Interpret and apply federal, state, and local environmental regulations across multiple disciplines, including Clean Water Act Sections 404/401, NEPA, ESA, NHPA Section 106, and applicable Wisconsin DNR regulations

Environmental Compliance Specialist II

• Provide support in the development and administration of the Compliance program.
• Develop and oversee client, senior management, and departmental reporting and metrics, including the review and approval of compliance events and client communications.
• Maintain and update policies and procedures, including the development of new policies, to meet domestic and foreign regulatory requirements and expectations.
• Oversee and collaborate closely with corporate partners and business lines to address federal and state regulatory changes, perform gap analyses, and support action plan development.
• Provide compliance direction and advice across all applicable areas of the business, including support for longer‑term compliance projects and internal and external audit matters.
• Assist with the preparation and review of regulatory documents and filings.
• Support corporate governance for domestic and offshore affiliates, including the review and preparation of Board materials for various entities.
• Assist with strategic initiatives, including the implementation of new service offerings and vendor relationships.
• Support selected firm‑wide compliance initiatives and, in some instances, provide project management oversight.
• Oversee project management for departmental initiatives.
• Identify opportunities for process improvements and operational efficiencies within the team.
• Perform other duties as assigned.

Senior Compliance Officer

• Review service events for compliance with ABC, court, and customer requirements
• Provide education and instruction to process servers regarding service requirements
• Investigate service complaints
• Create service complaint investigation reports
• Update and analyze process server review records
• Perform DCA required audits of process server logbooks
• Audit process server service event histories
• Perform other job-related duties as assigned

• Coordinates regulatory compliance activities.
• Works collaboratively with leaders, clinicians and other staff in the development and implementation of regulatory requirements to identify and reduce risks, and meet regulatory requirements.
• Ensures implementation of an integrated regulatory compliance and accreditation program.

Senior Regulatory Specialist

• Lead Rockwell Automation's global environmental compliance program across the industrial automation portfolio.
• Provide strategic and operational leadership for environmental compliance governance, regulatory execution, and cross-functional engagement.
• Report to Sr. Manager, Technology Standards & Conformity.
• Work Hybrid in Milwaukee, WI or Mayfield Heights, OH.
• Lead a global team of environmental compliance engineers and data specialists.
• Establish priorities, allocate resources, and ensure clear accountability across regulatory analysis, product assessments, and compliance data management.
• Foster a culture of technical excellence, engagement, collaboration, and continuous improvement.
• Own and drive global environmental compliance strategy for product regulations.
• Monitor global regulatory developments and translate complex requirements into clear internal guidance.
• Ensure effective environmental compliance support across the full product lifecycle.
• Oversee execution of environmental conformity assessments, documentation, and supporting data activities.

Manager, Environmental Compliance

• Be a subject matter expert on global customs and import regulations, including tariff classification, valuation, country of origin rules, duty programs, and import documentation requirements.
• Monitor and interpret regulatory developments, assess business impact and compliance risk, and advise leadership on required actions and implementation strategies.
• Support responses to inquiries from global customs authorities.
• Develop, maintain, and enhance corporate import compliance policies, procedures, and standards.
• Support internal compliance audits, identify risk areas, and work with partners to implement corrective actions and sustainable process improvements.
• Contribute to the design, execution, and monitoring of the global import compliance program.
• Provide guidance on customs brokerage, clearance activities, post‑entry corrections, and resolution of import-related issues.
• Support participation in global customs programs, including CTPAT, AEO, PIP, and other special trade programs (e.g., bonded warehouses, free trade zones).
• Partner with regional trade compliance managers and designated import contacts to promote application of regulatory requirements worldwide.
• Collaborate with operations, logistics, supply chain, legal, and finance teams to promote awareness of import requirements and ensure understanding of our goals.
• Influence decision‑making across global, cross‑functional teams without direct authority.

• Drive strategic and innovative pharmacy initiatives with Boards of Pharmacy across your assigned regions
• Shape the development and implementation of regulatory and advocacy priorities
• Support relationship-building with Boards of Pharmacy, industry coalitions, associations, academic partners, and other external stakeholders
• Cultivate cross-functional partnerships across Corporate Affairs, Pharmacy & Consumer Wellness, Legal, and other business units

Lead Director, Pharmacy Advocacy, Regulatory Affairs

• Serve as a day-to-day partner of the compliance team.
• Maintain the Compliance Manual, BCP, and overall policies for the firm.
• Execute and document ongoing compliance testing, including fee billing audits.
• Contribute to the annual Rule 206(4)-7 review process.
• Review financial planning engagements and compliance of fee-for-service arrangements.
• Participate in onboarding new advisors, including filings and training.
• Deliver training materials and guidance to advisors and staff.
• Edit, recommend, and amend compliance policies as needed.
• Monitor TAMP operations and document vendor reviews.
• Support Form ADV preparation and assist with regulatory filings.
• Serve as a compliance resource for advisor questions.
• Administer personal trading monitoring and employee certifications.
• Help ensure the firm’s audit-readiness prior to examinations.
• Review marketing materials for compliance with Rule 206(4)-1.

Compliance Generalist

• Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
• Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
• Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
• Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
• Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
• Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
• Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
• Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
• Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
• Partner with the Control Room to ensure transparency and visibility into Private Side activities.

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